DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Advisor moves
Arrivals at Waddell & Associates, LLC
A move is two dates on IAPD: the day a person’s registration through one firm ended and the day a registration through another began. The type reads the class of each firm. This is the movement tape the mobility research is validated against; it says what happened, never why, and never who is about to.
| Advisor | From | To | Type | Left | Registered |
|---|---|---|---|---|---|
| Michael Bartlett | Strategic Advisers LLC national BD | Waddell & Associates, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 26, 2026 | Mar 23, 2026 |
| Matthew John Gentzkow | UBS Financial Services Inc. wirehouse | Waddell & Associates, LLC independent RIA | Wirehouse to independent RIA | Mar 25, 2024 | May 8, 2024 (44 d) |
| Alexa Verzosa Alcala | Steel Grove Capital Advisors, LLC independent RIA | Waddell & Associates, LLC independent RIA | RIA to RIA | Nov 2, 2023 | Dec 4, 2023 (32 d) |
| Lukas Brian Hooper | Legacy Wealth Management, LLC independent RIA | Waddell & Associates, LLC independent RIA | RIA to RIA | Jul 10, 2023 | Nov 20, 2023 (133 d) |
| Laurie Grace Cortner | Cerity Partners Ocio LLC independent RIA | Waddell & Associates, LLC independent RIA | RIA to RIA | Apr 17, 2023 | May 8, 2024 (387 d) |
| Shelly Halford Baker | B Riley Wealth Management BD affiliated | Waddell & Associates, LLC independent RIA | Affiliated broker-dealer or bank to independent RIA | Mar 31, 2022 | Jul 26, 2022 (117 d) |
| David Sewall Waddell | Ironhorse Capital LLC other | Waddell & Associates, LLC other | Other | Jan 14, 2016 | May 26, 2016 (133 d) |
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7 moves match.